Examples of Broker-Dealer in a sentence

Since January 1, 2017, the Company Broker-Dealer Subsidiary has been duly registered as a Broker-Dealer with the SEC and each state and other jurisdictions in which it is required to be so registered.
The Company Broker-Dealer Subsidiary is, and since January 1, 2017 has been a member in good standing of FINRA and each other Self-Regulatory Organization of which it is required to be a member.
Client also understands and agrees that Baird shall have no responsibility for negotiating any directed brokerage arrangement, and that Baird is responsible solely for making reasonable efforts to follow Client’s instruction to direct Client’s trade orders to the Directed Broker-Dealer.
Each Holder and Participating Broker-Dealer shall be a third party beneficiary of the agreements made hereunder and shall have the right to enforce such agreements directly to the extent it deems such enforcement necessary or advisable to protect its rights or the rights of other Holders hereunder.
Client and each Retirement Account Fiduciary of Client understand, acknowledge and agree that Client and Client’s Retirement Account Fiduciaries are solely responsible for engaging a Directed Broker-Dealer, monitoring its performance and terminating a directed brokerage arrangement, and that Baird is not responsible for determining whether a Directed Broker-Dealer is capable of providing best execution.

More Definitions of Broker-Dealer

Broker-Dealer means any broker or dealer registered under the Exchange Act.

Broker-Dealer means any broker-dealer, commercial bank or other entity permitted by law to perform the functions required of a Broker-Dealer in Part II of this Statement, that is a member of, or a participant in, the Securities Depository or is an affiliate of such member or participant, has been selected by the Fund and has entered into a Broker-Dealer Agreement that remains effective.

Broker-Dealer shall have the meaning assigned to such term in Section 6.13.

Broker-Dealer means a person engaged in the business of effecting transactions in securities for the account of others or for the person's own account. The term does not include:

Broker-Dealer means any broker-dealer, or other entity permitted by law to perform the functions required of a Broker-Dealer in paragraph 10 of these Articles Supplementary, that has been selected by the Corporation and has entered into a Broker-Dealer Agreement with the Auction Agent that remains effective.

Broker-Dealer. Any broker or dealer registered under the Exchange Act. Business Day: Any day other than a Saturday, Sunday or U.S. federal holiday or a day on which banking institutions or trust companies located in New York, New York are authorized or obligated to be closed. Closing Date: The date of this Agreement.

Broker-Dealer means any person that is a broker (including a municipal securities broker), dealer, municipal securities dealer, government securities broker or government securities dealer as defined in the Exchange Act, regardless of whether the activities of such person are conducted in the United States or otherwise require such person to register with the U.S. Securities and Exchange Commission or other regulatory body.